Nicholas D. Smithie
Professional summary
Nicholas Dearden Smithie, CFA, who also goes by Nicholas Smithie, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2010. Nicholas has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 87 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Dearden Smithie's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2024 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 135 W. 50th St. Suite 200, New York, NY 10020February 12, 2016 - November 15, 2023
HSBC SECURITIES (USA) INC.
October 1, 2013 - January 12, 2016
ALPS DISTRIBUTORS, INC.
July 14, 2010 - September 25, 2013
UBS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/2/2024)
(4/2/2024)
Exams
FINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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